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Marc ALLAN Compton
CRD#: 2251843
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Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 Tualatin, OR
Registration History
19952000200520102015202020252 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2004 (9 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1992 - 1994 (1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2004 (1 year)
Disclosure(s)
View By:
7/7/2002
Customer Dispute
Settled
License(s)

State Registrations

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California 10/23/2009

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Texas 6/8/2010

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California 1/23/2013

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Washington 10/23/2009

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Oregon 11/9/2020

SRO Registrations

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Cboe BYX Exchange, Inc.

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Cboe BZX Exchange, Inc.

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Cboe Exchange, Inc.

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FINRA

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Nasdaq Stock Market

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New York Stock Exchange

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
Tualatin, OR
1211 SW 5TH AVE, PORTLAND, OR 97204
Registered with this firm since 10/23/2009

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
Tualatin, OR
1211 SW 5TH AVE, PORTLAND, OR 97204
Registered with this firm since 10/23/2009

Previous Registration(s)
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01/16/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SEATTLE, WA
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01/14/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SEATTLE, WA
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04/09/2002 - 01/14/2004 MORGAN STANLEY (CRD#:7556) SAN MATEO, CA
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05/17/1994 - 01/14/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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07/08/1992 - 05/16/1994 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.